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Stephen W. Yarbrough

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CRD#: 1005631
SY

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen White Yarbrough was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 5, Series 7, Series 27, Series 53, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 27, 2012 - June 12, 2020

BENCHMARK SECURITIES LLC

BD
CRD#: 159940
CHARLOTTE, NC
Past

May 20, 2003 - December 3, 2010

FIRST BALLANTYNE, LLC

BD
CRD#: 125393
CHARLOTTE, NC
Past

January 14, 1994 - April 11, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

September 30, 1989 - December 23, 1993

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

February 1, 1984 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

BD
CRD#: 619
ST. LOUIS, MO
Past

August 30, 1982 - January 30, 1984

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

August 22, 1981 - September 13, 1982

EDWARD JONES

BD
CRD#: 250

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/27/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/3/2003
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/5/1990
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/29/1990
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/1987
General Securities Principal Examination

Current Firm

BS
BENCHMARK SECURITIES LLC
BENCHMARK SECURITIES LLC | BENCHMARK SECURITIES, LLC

CRD#: 159940 / SEC#: , 8-69024

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
250 S. Park Avenue Suite 380, Winter Park, FL 32789
Mailing Address
250 S. Park Avenue Suite 380, Winter Park, FL 32789
Phone number
(407) 960-2700
Established
Florida since 11/03/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BMKS HOLDINGS, LLCMEMBER
MADDEN, RAYMOND JAMESCEO, CCO, ER2283328
SEMEL, SCOTT VINCENTHEAD OF SALES & TRADING4823191
YARBROUGH, DANIEL STEPHENCFO, FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER6115754

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BENCHMARK SECURITIES LLC

CRD#: 159940

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